AML Compliance, Regulatory Reporting, Transaction Monitoring

MANISH PARIKH

Chicago, Illinois 312-***-**** ********@*****.*** LinkedIn

PROFESSIONAL SUMMARY

Strategic and detail-oriented compliance professional with 20+ years in banking and 7+ years in hedge fund services and investor operations.

Proven track record of managing 200+ investor transactions per month, leading a 27-member AML division, and ensuring 100% audit

compliance across global regulatory frameworks (FATCA, CRS, Form PF, W-8/W-9). Adept at streamlining operational workflows,

mentoring cross-functional teams, and driving continuous improvement in KYC/AML processes.

CORE COMPETENCIES

AML/KYC · FATCA/CRS · Form PF · OFAC Screening · EDD · Regulatory Reporting · Hedge Fund Services Investor Onboarding

·Audit Readiness · Transaction Monitoring · UAT Testing · Capital Booking Controls Tools: Right Click · Finacle · Citrix · i-AML ·

World Check · Microsoft Excel

PROFESSIONAL EXPERIENCE

Northern Trust Chicago, Illinois

Officer and Consultant, Hedge Fund Services 11/2023 - 07/2025

Consultant, Hedge Fund Services 01/2022 - 11/2023

Managed 100–200 investor transactions/month, including subscriptions, redemptions, and transfers, ensuring full AML/KYC compliance.

Executed detailed compliance reviews for FATCA, CRS, W-8/W-9, Form PF, and EDD—resulting in 100% audit readiness.

Resolved 10–20 daily investor queries and trade discrepancies, improving response time by 30%.

Coordinated capital bookings with offshore teams, reducing booking errors by 25%.

Trained and mentored 3 new hires, enhancing team productivity and knowledge transfer.

Stargems Inc. Chicago, Illinois

Accountant 08/2018 - 01/2022

Processed 20–30 daily payments and performed bank reconciliations using Right Click with 100% reconciliation accuracy.

Sent 75–100 weekly payment reminders and reduced outstanding receivables by 15%.

Investigated and resolved vendor ledger discrepancies, improving reporting reliability.

Cut monthly operating expenses by 10% through vendor negotiations and process enhancements.

IDBI Bank Ltd. Nagpur, India

Assistant General Manager 10/2016 - 11/2017

Supported 10 branches with regional retail liability data and portfolio handling

Managed asset campaign tracking and daily reporting to the regional head

IDBI Bank Ltd. Mumbai, India

Assistant General Manager (AML Cell) 03/2013 - 10/2016

Led a 27-member AML team and ensured full compliance with KYC/AML guidelines

Maintained 100% overall compliance by adhering to KYC/AML guidelines prescribed by relevant regulators

Conducted workshops for 50-100 officers on AML/KYC compliance

Oversaw UAT testing of the new AML software and identified 50 Red Flag indicators

IDBI Bank Ltd. Mumbai, India

Assistant General Manager (Corporate Banking Group) 07/2012 - 03/2013

Established and supervised the operations department for the overall banking operations of 125 high-net-worth corporate clients

Spearheaded a team of 5 Managers for the smooth functioning of the department through client satisfaction

IDBI Bank Ltd. Mumbai, India

Manager (Mid Corporate Group & Corporate Banking Group) 03/2005 - 07/2012

Managed fund management for 20 mutual fund clients and 50-100 corporate accounts

Coordinated with treasury for daily derivatives and account settlements

ICICI Bank Mumbai, India

Manager 06/2002 - 03/2005

Managed the new extension counter, raised $5M in deposits, and handled client services

Reported 150-200 check deposits & withdrawals by mutual fund clients & other Banks to the Treasury Department

ICICI Bank Mumbai, India

Assistant Manager 12/1995 - 06/2002

Marketed bank products, handled 1,500-2,000 daily check clearances, and opened 25-50 accounts daily

Processed cash transactions, handled clearing, account opening & other Banking operations for 50-100 clients of the Bank

First National Bank of Chicago Chicago, Illinois

Teller/Account Executive 06/1992 - 03/1995

Processed 50 transactions, including deposits, withdrawals, and payments, with 100% accuracy

Cross-sold banking products using a one-stop client engagement strategy

EDUCATION

University of Northern Iowa Cedar Falls, Iowa

Bachelor of Arts - Computer Science and Business 1988-1991

CERTIFICATION

AML/KYC Certification conferred by the Indian Institute of Banking 2013

Basic AMFI Certification conferred by the National Stock Exchange 2010

AI in Risk Management and Fraud Detection, LinkedIn 2025

The 10 Pillars of Customer Experience, LinkedIn 2025

Cybersecurity Awareness: Cybersecurity Terminology, LinkedIn 2025

Crisis Communication Planning After a Ransomware or Other Cybersecurity Attack, LinkedIn 2025

Know Your Customer & Customer Due Diligence Training, Alison 2025

What is Business Analysis? LinkedIn 2025

Fundamentals of CAMPS Certification - Anti Money Laundering Specialist, Alison 2025

The ABCs of the Banking and Insurance Business AML KYC the NAIC IFRS and More, NASBA 2025

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